James SmithCRD Number: 3090393
Current Firm: Wells Fargo Advisors, LLC
James Smith (CRD# 3090393) is an Investment Advisor Representative working at Wells Fargo Advisors, LLC in Lake Wales, FL and has over 19 years of experience in the finance industry.
Allen & Company Of Florida, Inc.
Lpl Financial LLC
Suntrust Investment Services, Inc.
|Wells Fargo Advisors LLC||Lake Wales, FL||May 2009 - Current||8|
|Wachovia Bank, N.a.||Lake Wales, FL||Jun 2002 - Current||15|
|Wachovia Securities, LLC||Lake Wales, FL||Jun 2003 - May 2009||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 1998|
Total Assets Under Management372,113MILLIONS
Total Number of Accounts1,339,368ACCOUNTS
Average Account Value$277,827
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV